HomeMy WebLinkAbout19E - HOMELESSNESS PREVENTION AND RAPID RE-HOUSING PRGMREQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 4, 2009
TITLE:
HOMELESSNESS PREVENTION
AND RAPID RE-HOUSING PROGRAM
~''
C MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
^ As Recommended
^ As Amended
^ Ordinance on 1 S~ Reading
^ Ordinance on 2"d Reading
^ Implementing Resolution
^ Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Approve a Substantial Amendment to the Consolidated Plan 2008-2009 Action
Plan and authorize its submittal to the U. S. Department of Housing and
Urban Development.
COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION
At its Regular Meeting of April 21, 2009, by a vote of 5:0, the Community
Redevelopment and Housing Commission recommended that City Council
approve a Substantial Amendment to the Consolidated Plan 2008-2009 Action
Plan and authorize its submittal to the U. S. Department of Housing and
Urban Development.
DISCUSSION
The American Recovery and Reinvestment Act of 2009 (~~Recovery Act")
appropriated $1.5 billion for communities to provide financial assistance
and services to either prevent individuals and families from becoming
homeless or to help those who are experiencing homelessness to be quickly
re-housed and stabilized. The Homelessness Prevention and Rapid Re-
Housing Program (HPRP) is one of the new grant programs funded through
this appropriation. Under the terms of the funding distribution formula
established by the U. S. Department of Housing and Urban Development
(HUD), Santa Ana has been allocated $2,831,989.
In order to receive funding, the City must adopt a Substantial Amendment
to its Consolidated Plan 2008 Action Plan (Exhibit 1). The Annual Action
Plan serves as an application for the program funds and establishes a
one-year investment plan that outlines the intended use of resources to
meet the needs of the community.
19E-1
HPRP
May 4, 2009
Page 2
There are four categories of eligible activities for the HPRP program: 1)
financial assistance, 2) housing relocation and stabilization services,
3) data collection and evaluation, and 4) administrative costs. HPRP
assistance is not a mortgage assistance program, nor is it intended to
provide long term support for program participants. The focus of the
program is housing stabilization and linking participants to community
resources to develop a plan to prevent future housing instability. The
table below indicates the preliminary estimates for the various HPRP
activities.
HPRP Estimated Budget
Summary
Homelessness Rapid Total Amount
Prevention Re-Housing Budgeted
Financial Assistance $990,000 $990,000 $1,980,000
Housing Relocation $327,494 $327,495 $654,989
and Stabilization
Services
Subtotal $1,317,494 $1,317,495 $2,634,989
Data Collection and $56,000
Evaluation
Administration $ 141,599
Total HPRP Amount $ 2,831,989
Budgeted
The HPRP activities will be undertaken by working closely with regional
partners in a collaborate effort and selecting sub-recipients through a
Request for Proposal (RFP) process. The purpose of the RFP is to solicit
and select homeless service providers who will be able to meet program
guidelines, provide the necessary services and disburse the funds in the
designated time.
Program participant requirements include an initial consultation with a
case manager, an income below 50 percent of the Area Medium Income, and a
household who has no appropriate housing options identified and who lacks
the resources and support networks needed to obtain immediate housing or
remain in existing housing.
On April 21, 2009, the Community Redevelopment and Housing Commission
held a public hearing to receive community input on the proposed
19E-2
HPRP
May 4, 2009
Page 3
substantial amendment. As required by the Recovery Act, the Substantial
Amendment of the 2008-2009 Action Plan was available for a 12-day comment
period. Notices were published in the Orange County Register, La Opinion
and Nguoi Viet News. In addition, the Substantial Amendment was posted
on the City's website. All comments received during the comment period
and public hearing have been included in the final document, which is due
to HUD no later than May 18, 2009.
FISCAL IMPACT
By submitting this Substantial Amendment to its 2008-2009 Annual Action
Plan, the City of Santa Ana will be eligible to receive $2,831,989 in
grant funds under the American Recovery and Reinvestment Act of 2009 for
Homelessness Prevention and Rapid Re-Housing.
APPROVED AS TO FUNDS AND ACCOUNTS:
Cynthia J. N lson
Deputy City Manager for
Development Services
Community Development Agency
~ " ~ \ ~.-
Francisco Gutierrez L~..p,
Executive Director ""~~
Finance & Management Services Agency
CJN/NTE/TE/mlr
19E-3
OMB Approval Number: 2506-0180
(Expiration Date: 9/30/2009)
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
Grantees eligible to receive funds under the Homelessness Prevention and Rapid Re-
Housing Program (HPRP) are required to complete a substantial amendment to their
Consolidated Plan 2008 Action Plan. This form sets forth the required format for this
substantial amendment. A completed form is due to HUD within 60 days of the
publication of the HUD HPRP notice.
To aid grantees in meeting this submission deadline, the HPRP Notice reduces the
requirement fora 30-day public comment period to no less than 12 calendar days for this
substantial amendment. With this exception, HPRP grantees are required to follow their
Consolidated Plan's citizen participation process, including consultation with the
Continuum of Care (CoC) in the appropriate jurisdiction(s). Grantees are also required to
coordinate HPRP activities with the CoC's strategies for homeless prevention and ending
homelessness. To maximize transparency, HUD strongly recommends that each grantee
post its substantial amendment materials on the grantee's official website as the materials
are developed.
A complete submission contains the following three documents:
1) A signed and dated SF-424,
2) A completed form HUD-40119 (this form), and
3) Signed and dated General Consolidated Plan and HPRP certifications.
For additional information regarding the HPRP program, visit the HUD Homelessness
Resource Exchange (www.hudhrc.inf~~). This site will be regularly updated to include
HPRP resources developed by HUD and its technical assistance providers.
The information collection requirements contained in this application have been submitted to the Office of
Management and Budget (OMB) for review under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520). This agency may not collect this information, and you are not required to complete this form, unless
it displays a currently valid OMB control number.
Information is submitted in accordance with the regulatory authority contained in each program rule. The
information will be used to rate applications, determine eligibility, and establish grant amounts.
Public reporting burden for this collection of information is estimated to be 16 hours, including the time for
reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. This information is required to obtain benefits. To
the extent that any information collected is of a confidential nature, there will be compliance with Privacy
Act requirements. However, the substantial amendment to the Consolidated Plan 2008 Action Plan does not
request the submission of such information.
Warning: HUD will prosecute false claims and statements. Conviction may result in criminal and/or civil
penalties. (18 U.S.C. 1001, 1010, 1012; 31 U.S.C. 3729, 3802)
HUD-40119
19E-4
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
A. General Information
Grantee Name City of Santa Ana
Name of Entity or Department
Administering Funds Community Development Agency (CDA)
HPRP Contact Person
(person to answer questions about
this amendment and HPRP)
Nancy Edwards
Title Assistant Director CDA
Address Line 1 20 Civic Center Plaza
Address Line 2 PO Box 1988
City, State, Zip Code Santa Ana, CA 92701
Telephone 714-647-5360
Fax 714-674-6549
Email Address nedwards@santa-ana.or~
Authorized Official
(if different from Contact Person)
David N. Ream
Title City Manager
Address Line 1 20 Civic Center Plaza
Address Line 2
City, State, Zip Code Santa Ana, CA 92701
Telephone 714-647-5200
Fax 714-647-6954
Email Address achristensen@santa-ana.or~
Web Address where this Form is
Posted
www.santa-ana.org
Amount Grantee is Eligible to Receive* $2,831,989
Amount Grantee is Requesting $2 831 989
*Amounts are available at http://www.hud.gov/recovery/homelesspreventrecov.xls
2
4/28/09
HUD-40119
19E-5
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
B. Citizen Participation and Public Comment
1. Briefly describe how the grantee followed its citizen participation plan regarding
this proposed substantial amendment (limit 250 words).
Response: As required, the City of Santa Ana utilized its established Citizen
Participation Plan as the framework for making the public aware of the receipt
and use of HPRP funds. Only one modification to these established procedures
was made -the one exception is allowed under the approved HPRP regulations.
The City published notices announcing the receipt of HPRP funds and the process
by which members of the public can review and comment on the proposed
substantial amendment to the City's 2008-2009 Action Plan. The notices were
published in local English, Spanish and Vietnamese-language newspapers.
Additionally, the City posted the draft substantial amendment on its website
(www.santa-ana.or~). The one modification to the Citizen Participation process,
as allowed by HUD's HPRP Notice, was to reduce the typical 30-day public
comment period to 12 days. The City published the aforementioned notice on
April 15, 2009. The notice announced the public review and comment period,
which began on April 16 and ended on April 27, 2009, and also announced a public
hearing to be held by the City's Community Redevelopment and Housing
Commission on April 21, 2009.
2. Provide the appropriate response regarding this substantial amendment by checking
one of the following options:
^ Grantee did not receive public comments.
® Grantee received and accepted all public comments.
^ Grantee received public comments and did not accept one or more of the
comments.
3. Provide a summary of the public comments regarding this substantial amendment.
Include a summary of any comments or views not accepted and the reasons for
non-acceptance.
Response: Four comments were received during the comment period: Two were
submitted verbally via telephone: One requested information on how an
individual could apply for assistance. Staff informed the caller that the program
will be operated by nonprofit service providers that are yet to be selected. A
second caller requested information regarding the program but did not leave a
return call phone number. Two written comment were provided (see page 12 &
13). One commenter expressed support for the application, but was critical of
local service providers. No return contact information was provided by the
commenter so City staff was unable to respond. The second commenter asked to
3 HUD-40119
4/28/09
19E-6
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
be kept informed as to how the City plans to use the funds. Additionally, this
group attended the public hearing where they informed the Community
Redevelopment and Housing Commission that their organization is available to
provide services.
C. Distribution and Administration of Funds
Reminder: The HPRP grant will be made by means of a grant agreement executed by HUD
and the grantee. The three-year deadline to expend funds begins when HUD signs the grant
agreement. Grantees should ensure that sufficient planning is in place to begin to expend
funds shortly after grant agreement.
1. Check the process(es) that the grantee plans to use to select subgrantees. Note that a
subgrantee is defined as the organization to which the grantee provides HPRP
funds.
^ Competitive Process
^ Formula Allocation
® Other (Specify: A competitive process utilizing a Request for Proposals (RFP)
will be used; however, an option for special consideration will provided for
proposals that facilitated partnerships with other Orange County HPRP grantees
for the purpose if achieving regional efficiencies and those that provide sole
source services, e.~., HMIS.)
2. Briefly describe the process(es) indicated in question 1 above (limit 250 words).
Response: Santa Ana is an Emergency Shelter Grant (ESG) recipient, therefore, to
the extent possible, a process similar to one delineated in the City's Citizen
Participation Plan and Consolidated Plan will be used to solicit, review, select and
award HPRP sub-grants. This process encompasses the following:
^ A notice announcing the City's receipt of HPRP funds was published April 15,
2009 (published in English, Spanish and Vietnamese).
^ The 12-day public review/comment period commenced April 16, 2009 and
ended April 27, 2009.
^ A public hearing to obtain public input was held April 21, 2009.
^ While the City awaited HUD's amendment approval, a RFP was prepared and
distributed to homeless service providers soliciting proposals for HPRP-eligible
programs that serve Santa Ana residents.
^ Responsive proposals will be screened by staff to ensure completeness and
compliance with HPRP regulations.
4
4/28/09
HUD-40119
19E-7
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
^ A committee will be assembled to interview qualified applicants and to
prepare funding recommendations to the Community Redevelopment and
Housing Commission (CRHC).
^ The CRHC will hold a meeting to consider grant allocation recommendations
and to finalize a recommendation to the City Council.
^ The City Council will take action to award HPRP sub-grants prior to September
30, 2009.
Regarding distribution of administration funds, no more than 50% of the amount
allowed for "administration" will be available to subgrantees. subgrantees may
make reasonable requests for a portion of these funds; however, the amount
awarded will depend on the number of HPRP sub-grants awarded and the
proposed use of administration funds.
3. Briefly describe the process the grantee plans to use, once HUD signs the grant
agreement, to allocate funds available to subgrantees by September 30, 2009, as
required by the HPRP Notice (limit 250 words).
Response: As indicated above, the City will modify the existing application review
and grant allocation processes. Modifying the existing processes will help
expedite the allocation of HPRP resources. The City will also make an effort to use
HPRP funds in a coordinated manner with the County and other local grantees.
Key elements to the fund allocation process include:
^ Develop and disseminate a RFP to homeless service providers soliciting
proposals for HPRP-eligible programs that serve Santa Ana residents.
^ Work in partnership with the County and other HPRP grantees to coordinate
the use of funds on a region-wide basis.
^ Develop asub-recipient grant agreement that encompasses key elements of
the HPRP.
^ Staff will screen applications to ensure proposed programs are compliant with
HPRP regulations. Peer review by other HPRP recipients may be utilized at this
phase.
^ Interviews of applicants will be conducted by a committee, which will develop
funding recommendations for the Community Redevelopment and Housing
Commission (CRHC).
^ A meeting held by the CRHC to consider grant allocation recommendations
and to final a recommendation to the City Council.
^ Council approval of grant agreements (including amounts).
^ Execution of agreements by mid-September to ensure complete program
information is available for the first quarterly report (due October 10, 2009)
5
4/28/09
HUD-40119
19E-8
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
4. Describe the grantee's plan for ensuring the effective and timely use of HPRP grant
funds on eligible activities, as outlined in the HPRP Notice. Include a description
of how the grantee plans to oversee and monitor the administration and use of its
own HPRP funds, as well as those used by its subgrantees (limit 500 words).
Response: Following City Council approval of the substantial amendment, the City
will develop and issue a RFP. Appropriate and timely use of HPRP resources is
critical to both the City and HUD. To this end, the City will implement several key
actions:
^ Create a grant application that clearly outlines HPRP-eligible uses. Applicants
that propose ineligible activities will be rejected (the City reserves the right to
allow application modifications).
^ Only organizations with experience providing HPRP-type services for the
homeless and persons at risk of homelessness will be eligible for funding.
Applicants must also have experience administering HUD (or other federal)
grant funds. These requirements will help reduce the lead-time before services
are provided to clients.
^ Subgrantee agreements will contain language that holds aperson/organization
to a higher standard with respect to the accuracy of information. For example,
self-certifications, other forms used to obtain client data, and Subgrantee
reports will include a statement attesting that information is provided under
penalty of perjury. The use of strong language aims to discourage abuse of
HPRP-funded assistance. Finally, the City will be prepared to aggressively
prosecute any person that knowingly provides false or misleading information
for the purpose of wrongfully obtaining financial assistance.
^ At least once per year, Staff will conduct on-site monitoring of all HPRP
subgrantees for the purpose of verifying appropriate use of funds and proper
documentation of persons assisted.
^ Each HPRP agreement will contain a Scope of Work that will include a grant
expenditure plan and service goals with specific performance milestones and
output/outcomes measurements. The City will consider entering into 12-
month contracts with subgrantees with an option to renew for an additional
18 to 24 months. At the end of the initial term, the City will evaluate the
milestones, goal attainment and expenditure rates of subgrantees to ascertain
if performance and expenditure goals will be met. A 12-month term will
provide the City with a window in which to take corrective action, especially if
it appears unlikely that the required two-year/60% grant expenditure rate will
not be met. If a Subgrantee is on track to meet goals at the end of the initial
term, an additional 18 to 24-month term may be awarded; however, the City
will reserves the right to reallocate HPRP funds as it deems necessary to meet
all HPRP program deadlines.
^ The City will require all recipients to utilize the regional Homeless
Management Information System (HMIs). Using HMIs will help ensure
6
4/28/09
HUD-40119
19E-9
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
consistent reporting of program participant information and also facilitate
timely quarterly reporting. City Staff will also ensure that quarterly reports are
submitted to HUD and that the Integrated Disbursement and Information
System is updated quarterly.
D. Collaboration
1. Briefly describe how the grantee plans to collaborate with the local agencies that
can serve similar target populations, which received funds under the American
Recovery and Reinvestment Act of 2009 (ARRA) from other Federal agencies,
including the U.S. Departments of Education, Health and Human Services,
Homeland Security, and Labor (limit 250 words).
Response: ARRA provides funding opportunities for other federal agencies that
provide resources to agencies that may serve similar target populations as those
to be served by HPRP. To identify collaborative funding opportunities the City will
work with the Orange County Continuum of Care Forum. The Community Forum is
an entity comprised of agencies, individuals, and groups focused on eliminating
homelessness in Orange County. The Community Forum has an open membership
- this structure encourages broad and diverse participation. On average 100
public and private agencies attend quarterly meetings. Approximately 70% of
attendees are nonprofit agencies; the balance represent local, regional, state and
federal agencies (e.g., OC Department of Education, OC Health Care Agency,
Orange County Workforce Investment Board -all entities that may be direct
recipients or subgrantees of other ARRA funding).
It is noteworthy that the Community Forum is the primary regional planning entity
for HUD's annual Continuum of Care funding competition (SuperNOFA). A primary
function of the Community Forum is to identify gaps in the regional Continuum of
Care (CoC) and to prioritize these gaps for SuperNOFA funding. This regional role
makes the Community Forum an ideal medium to collaborate with other ARRA-
program administrators. By participating in the Community Forum, the City can
ensure it works with regional HPRP recipients to inform potential applicants of
funding opportunities and to discuss the requirement of HPRP to collaborate with
other ARRA-programs that are serving the region's homeless and those at risk of
homelessness.
2. Briefly describe how the grantee plans to collaborate with appropriate
Continuum(s) of Care and mainstream resources regarding HPRP activities (limit
250 words).
7
4/28/09
HUD-40119
19E-10
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
Response: Since 1998, Orange County has seen the evolution of a regional CoC for
the purpose of identifying and prioritizing housing and service needs of the
region's homeless and those at risk of homelessness. At the forefront of this
regional planning process is the CoC Leadership Cabinet and the Community
Forum Collaborative. The Leadership Cabinet and the Community Forum
Collaborative were created to address homeless issues on a comprehensive
regional basis. Key to this effort is the identification of the resources available
throughout the region that can be used to address and reduce homelessness.
They provide leadership and direction for the regional planning process and the
marshalling of mainstream resources in support of the region's annual SuperNOFA
CoC grant application to HUD. Other regional homeless-related initiatives
addressed by the Leadership Cabinet and the Community Forum include
implementation of the biennial Point-In-Time homeless count, Ten-Year Plan to
End Homelessness, regional discharge planning efforts (jails, hospitals, foster care)
and implementation of Orange County's HMIS.
Because of the Community Forum's inclusive membership and the Leadership
Cabinet's unique make up (comprised of representatives from the OC Housing and
Community Development Commission, citizens, homeless service/shelter
providers, the County Public Health Officer and County Homeless Prevention
Coordinator) they are ideally suited to work in partnership with Santa Ana to
utilize HPRP resources regionally, and in an effective and efficient manner. The
City will work with the County to identify opportunities to utilize
vendors/programs that present ideal opportunities to regionalize the effective use
of HPRP funds.
3. Briefly describe how HPRP grant funds for financial assistance and housing
relocation stabilization services will be used in a manner that is consistent with the
grantee's Consolidated Plan (limit 250 words).
Response: The City of Santa Ana's 2005/06 - 2009/10 Consolidated Plan identifies
homeless programs as a high priority need. According to this document, the City
has committed the use of federal resources, such as Community Development
Block Grant (CDBG) and ESG to provide a continuum of services for the City's
homeless and those at risk of becoming homeless. During the past four years the
City has significantly funded emergency and transitional housing opportunities. To
a lesser degree, ESG funds have been used to provide homelessness prevention
assistance; however, HPRP funds will allow the City to address one of the gaps in
its continuum of housing/services, i.e., access to permanent housing. The influx of
HPRP funds, specifically for assisting individuals and families to access and stay in
permanent housing is much needed. Utilizing a portion of the City's HPRP
8
4/28/09
HUD-40119
19E-11
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
allocation to provide financial assistance and relocation/stabilization services is
consistent with the City's Consolidated Plan.
As envisioned, using HPRP funds will also support several Consolidated Plan sub-
strategies including, addressing the needs of the underserved, implementing an
anti-poverty strategy, developing and enhancing institutional structures, and
enhancing coordination between public agencies, private entities, and community
residents. Finally, requirements to mitigate lead-paint hazards and to eliminate
barriers to fair housing will be addressed via HPRP-funded services/programs.
9
4/28/09
HUD-40119
19E-12
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
E. Estimated Budget Summary
HUD requires the grantee to complete the following table so that participants in the citizen
participation process may see the grantee's preliminary estimated amounts for various
HPRP activities. Enter the estimated budget amounts for each activity in the appropriate
column and row. The grantee will be required to report actual amounts in subsequent
reporting.
HPRP Estimated Budget Summary
Homelessness Rapid Re- Total Amount
Prevention housing Budgeted
Financial Assistance 1 $990,000 $990,000 $1,980,000
Housing Relocation and
z
494
$327
$327
495
$654
989
Stabilization Services , , ,
Subtotal
(add previous two rows)
$1,317,494
$1,317,495
$2,634,989
Data Collection and Evaluation 3 $56,000
Administration (up to 5% of allocation) $141,000
Total HPRP Amount Budgeted a $2,831,989
~ Financial assistance includes the following activities as detailed in the HPRP Notice:
short-term rental assistance, medium-term rental assistance, security deposits, utility
deposits, utility payments, moving cost assistance, and motel or hotel vouchers.
~ Housing relocation and stabilization services include the following activities as detailed
in the HPRP Notice: case management, outreach, housing search and placement, legal
services, mediation, and credit repair.
3 Data collection and evaluation includes costs associated with operating HUD-approved
homeless management information systems for purposes of collecting unduplicated
counts of homeless persons and analyzing patterns of use of HPRP funds.
4 This amount must match the amount entered in the cell on the table in Section A titled
"Amount Grantee is Requesting."
10
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HUD-40119
19E-13
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
F. Authorized Signature
By signing this application, I certify (1) to the statements contained in the list of
certifications and (2) that the statements herein are true, complete, and accurate to the best
of my knowledge. I also provide the required assurances and agree to comply with any
resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent
statements or claims may subject me to criminal, civil, or administrative penalties. (U.S.
Code, Title 218, Section 1001)
Signature/Authorized Official
City Manager
Title
11
4/28/09
Date
HUD-40119
19E-14
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
PUBLIC COMMENTS LOG
PLEASE NOTE ANY COMMENTS RELATING TO THE SUBSTANTIAL AMENDMEN'1• TO
THE 2008-2009 ANNUAL ACTION PLAN OR SEND YOUR VVRlTTEN COMMENTS r~0
TI-!E f=OE_LOb'VING ADDRESSED TO BF_ RF_CEIVED BY APRIL 27, 2009 AT 12;00 P.M:
Frank Hernandez -Managernent Aide OR
Terri Eggers --Senior Managernent Analyst
20 Civic Center Piaza, PA-2:5
Santa Ana, CA 92`l01
c,~s Y' ~~° (c ,
12
4/28/09
HUD-40119
19E-15
Substantial Amendment to the Consolidated Plan 2008 Action Plan for the
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
0
PUBLIC • ~ LAW CENTER
Prrnidinp ACCecs 7olunke for Orarye COUntys lniiincomenesbents
April 10, 2009
Ms. Cynthia Nelson
Deputy City Manager for Development Services
City of Sallta Ana - CDBG Office
20 Civic Center Plaza
6th Floor
Santa Ana, CA 92701
Dear Ms. Nelson:
LEGAL AID ~~m~
SOCIETY °T'- a [ ~ ~
n x n x a x ~ u n r v
C O.ai AIUNI Tl' i. F:d A I. 5F.%V IC GS
OF SUUiII L'ASl LI)S ANO%~e5 cOIIN )'V
RECEIVED APR 14.2009
We are wtiting to ask that both of oul• organizations, the Legal Aid Society of Orange
County and the Public Law Center, be kept advised of any efforts nl the City of Santa Ana to
determine uses of funding provided by the U.S. Department of Housing & Urban Development
(HUD) under the Homelessness Prevention and Rapid Rehousing Ptogram (HPRP) created under
the American Recovery and Reinveshnent Act of 2009 (Recovery Act).
As you are probably aware, HUD announced on Marcll 19, 2009 that City of Santa Ana is
eligible to 1•eceive $2,831,989 under the HPRP. These funds are designed to provide financial
assistance and selvices to eithet• prevent individuals and families from becoming homeless ar
help those who are experiencing homelessness to be quickly re-housed and stabilized. While no
doubt the bulk of the funds will likely go to provide financial assistance directly to HPRP
participants, HUD has made clear that legal services a]•e among the service activities that can be
funded as part of a comprehensive service menu to be provided using HPRP funds. HUD's
March I9 notice states at p. 17:
"Legal Services. HPRP funds may be used for legal selvices to help people stay in their
homes, such as services or activities provided by a lawyer or othel• pel•son(s) under the
supervision of a lawyer to assist program participants with legal advice and representation
in administrative or coup proceedings related to tenant/laudlord matters or housing issues.
Legal services related to mortgages are not eligible."
Both the Legal Aid Society of Orange County and the Public Law Center have a long
history and the present capacity to provide legal services to help the residents of Santa Ana stay
in their homes. We 1•equest that as you develop your plans for the use of HPRP funds, you
include legal services in the range of services you choose to fund and that you include both of us
on any distribution lists you use to publicize HPRP funding opportunities.
We look forward to serving the residents of Santa Ana as they address their housing
needs during this trying time.
Very h•uly yours,
Robert J. -open
Executive Director
Legal Aid Society of Orange County
tr
Kelu~eth W. Babcock
Executive Director & General Counsel
Public Law Center
G01 Civic CenEer Drive West • Santa Ana, CA 92701-4002 • (714) 541-1010 • Fax (714) 541-5157
Federal Tax ID# 95-3709253
13 HUD-40119
4/28/09
19E-16
OMB Number: 4040-0004
Expiration Date: 01/31/2009
Application for Federal Assistance SF-424 version 02
"1. Type of Submission: '2. Type of Application ~ If Revision, select appropriate letter(s)
^ Preapplication ^ New
® Application ^ Continuation `Other (Specify)
^ Changed/Corrected Application ^ Revision
3. Date Received: 4. Applicant Identifier:
5a. Federal Entity Identifier: '5b. Federal Award Identifier:
State Use Only:
6. Date Received by State: 7. State Application Identifier:
8. APPLICANT INFORMATION:
'a. Legal Name: City of Santa Ana
'b. Employer/Taxpayer Identification Number (EIN/TIN): *c. Organizational DUNS:
95-6000785 083153247
d. Address:
'Street 1: 20 Civic Center Plaza
Street 2:
*City: Santa Ana
County: Orange
"`State: CA
Province:
'Country: USA
`Zip /Postal Code 92702
e. Organizational Unit:
Department Name: Division Name:
Community Development Agency Administration Division
f. Name and contact information of person to be contacted on matters involving this application:
Prefix: Ms 'First Name: Nancy
Middle Name: T.
"Last Name: Edwards
Suffix:
Title: Assistant Director of Community Development
Organizational Affiliation:
'Telephone Number: 714-667-2244 Fax Number: 714-647-6713
Email: nedwards@ santa-ana.org
19E-17
OMB Number: 4040-0004
Expiration Date: Ol/31/2009
Application for Federal Assistance SF-424 Version 02
*9. Type of Applicant 1: Select Applicant Type:
City or Township Government
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
*Other (Specify)
*10 Name of Federal Agency:
Housing and Urban Development
11. Catalog of Federal Domestic Assistance Number:
14.257
CFDA Title:
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
*12 Funding Opportunity Number:
*Title:
Title XII of Division A of the American Recovery and Reinvestment Act of 2009
13. Competition Identification Number:
Title:
14. Areas Affected by Project (Cities, Counties, States, etc.):
City of Santa Ana, County of Orange, CA
*15. Descriptive Title of Applicant's Project:
Financial assistance and services to either prevent individuals and families from becoming homeless or help those who are
experiencing homelessness to be quickly re-housed and stabilize.
19E-18
OMB Number: 4040-0004
Expiration Date: 01/31/2009
Application for Federal Assistance SF-424 Version 02
16. Congressional Districts Of:
*a. Applicant: 46 & 47 *b. Program/Project: 46 & 47
17. Proposed Project:
*a. Start Date: 07/02/2009 *b. End Date: 09/30/2012
18. Estimated Funding ($):
*a. Federal $2,831,989
*b. Applicant
*c. State
*d. Local
*e. Other
*f. Program Income
*g. TOTAL $2,831,989
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
^ a. This application was made available to the State under the Executive Order 12372 Process for review on
^ b. Program is subject to E.O. 12372 but has not been selected by the State for review.
® c. Program is not covered by E. O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.)
^ Yes ®No
21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements
herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply
with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject
me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001)
® ** I AGREE
** The list of certifications and assurances, or an Internet site where you may obtain this list, is contained in the announcement or
agency specific instructions
Authorized Representative:
Prefix: Mr *First Name: David
Middle Name: N.
*Last Name: Ream
Suffix:
*Title: City Manager
*Telephone Number: 714-647-5200 Fax Number: 714-647-6713
* Email: achristensen~santa-ana.org
*Signature of Authorized Representative: *Date Signed:
Authorized for Local Reproduction
Standard Form 424 (Revised 10/2005)
Prescribed by OMB Circular A-102
19E-19
OMB Number: 4040-0004
Expiration Date: 01/31/2009
Application for Federal Assistance SF-424 version 02
''Applicant Federal Debt Delinquency Explanation
The following should contain an explanation if the Applicant organization is delinquent of any Federal Debt.
19E-20
tNSTRUCTIU~4S FUR THE 5F-d2~
y td;c. reporting burden fcr this a:+;ec:.ion of infcx r7ation is estimakac tr wJerage dQ m notes p~rr rESpcnse. inclutling t me fo• revieti~• r g ^s:ruc;ians, s : rch ^+a
existin datw sources. gat^~~ing and main:wining the data ne.-bed, anc corhp~ting and rev._vring tre aallectlcn or in#ormat~~«^, send ;~ r^in-~ents reaaroing t^-
t• rz#en es:ir!a:e or a^y ot^.r aspect of this a:~ Iev.ion Hof infcrna:ion ie~:luding suggestions fcr reducing :his .,r~.en, t_ :hE ~L-'ice of il4anagement anc 6ud,y-:.
-';Grr~x~~crk P,~.~ccicn Pr;,jec: fU34fi-CC~3), 4Va hingtan GC ~CcC3.
PLEASE DU NUT RETURN YCYUR CUA~tPLETED FURAi TU THE OFFICE OF M11ANFGER1ENT AND B4JDGET. SEND IT TG THE A~?DRESS PRG'JIGEJ
BY THE SPONSORIPIG AGENCY.
-L•:s is a s:a~dart's Eo:~ I,i=cict3i31g ttlE t0~t3L7':1'st1aL' hee[;1 (EaIL'C?d iu: ;1:e as :~ Cc': ES :heel far sub~sias_ou of prEappl_cat:ous a aFp:.anec::,~d
rEial2~ Illfil~l~Il•^. L' iiL'~ES ~1.'SC:E^.a73I}' p:C7 _°CiLt]s. ~C~L:2 8f :tYE 1:EIY15 '.Ce ZE~l'~TE{i. ~L'd .apsE ctE aL•tlaT 3~ 3: tLE d:SCTEA+73141 L7E :tpCl'_C 11t OC Ltlt FE ~E: ;11
•~'ceL' :.. t;a°eC1C,'j. R?q:l~Cad iC2115 37E 7dEL'L1^Ee3 sr1Ih aL' :sSCEr:S)i aL' :1E fOCl:l alid .1:2 SpECiSEd IZ' :he t:1~;F1..,,.rl.,~n y h~! a'.1'..1 .l~.'~1J:`-' :0 CLE 35CI11:~t:OllS
DrOs7d?d Lea IC1,'. aj:~p'!l:an.C'i 331tli[i.G115tt1:.+?EL'C`~ 3`1"I,:CT1aIl: :0 .`~.E1?I?=L12 i}7E:_LC ?2t7'ikL E311?:3'S
Lar: Entr,+: tent Entr°:
Type of Submission: (Requ~•ec;l: SelECt anE type of st+miss.~ in 11. Warne Gf Federal Agency: !Raquirecl; Ent-rLhe ^aria o':he
a ccerdance ~rri.h a+,_ncy ^s:ructions. =Ederal :bgency fR~:tir: sti•^ ~:h .,ssistance s being ~aquesfee ti*r1h
'~r5a,~ pilad:icn :i1i5 app6catian.
App ica:icn
Changed;Correc:ed,~,pplicat:^ - if requested by the a3Ency, chec~ 11. Catalog Cff FedArat DomESti4 Assistance NumberiTitle.
=:hissublrissicn sicc~^ar~gEC~raorrecta:•rev~~..slysubmitted =n:er:herv_tocc'=eclera G~_r. ast:~s3istarr_erar:.Era~~
apr ca:ian..tnless requestE~, by :he agency. a:~^Ilcar:ts may not :,ue of .Fe : ~_ ~rwlr un~:_• whic^ ass a.anca is re:•es:ecl. as
use this :o submit changes ai'ter:he closing datE. found in the cragram w^^;7tmcr:e:., i' a.~c cab =.
Type of Application: t;P,ecuirecfl SElect one type ~1f : pplicaticr in 12. Funding 4p•portunity NumbErJTitte: ;?Eq ad:l .^icr tr-
accordance •rrl h agency :s:roc:ions. =unding Uppcruni:y PJ,.n7bEr and t :le a(t . cppc~^.uni:y unde•
i•~:e«~ - ~~n .,c~plica:lcn t^~,t is being s..frii;tN. o a,r agE^ _y `tr :he tvhi r assistaa^:E is r?eu_3:ed, as sound in :I7e c+rc+gran°~
=irs::in•~e. ann,~s nye'rtiEn:.
C:.ntr:;wtc~^ -r'.n exten=_ontaran acditc~+alsunding~"butlgE:,c«:riod 13. Gontpetetion identification Numberri'itle. =°tErt^_
gar a pre;_~a svitlt a projected a:~rtp Eiicn date. "M , ca,•r include Gorr -Brian Iden:ificatian Plu.niber and tide c.f 1hE a :p _:iticm
rere.•+ais. unde° +,vhic^ as. stance is req:;as:Eil, i' ap cab a.
evsicn r,ny c^ange.n :he Fedelas ticvernment's f,~?an:a
cb `gaticr ar cal^tingEr*, iabilit~ from an E>:is:ing obligation f a
re'vis~?n
M1,1ore tr~.n cn_ rray be
enter the apprapria a ei-En;=_;I
,
.
s_lected. It _:her' is selectE.. W lease specrj rn text to ,.rav ~ed. 1~. Areas Affected By Project: List th- areas ~1r E^:itie=_ using
A Ino'reas_ Fward 3. G_+.rease.Avran. :he categories (E.g., cities.:a..rties, sta:E= etc.i scec clod in.
C Increase Curvet+~n D. L'~ecrease Curator age^cy nstra ;:ions. Use :he cos^:in:.lation sra_t to En =r
E. Cher is eCi, add.:ianal areas, if nEEu'~;.
~. Date Received: ~Eave t'?is fE-+~ bla^x. This elate wril! be assigned by t~^e 1v. t}escriptive Title of Applioant's Project ;REC.,.•ed =^ter::
Fedora age^: f. brief cescriptivE tale ~f t^e pre w:, f apprc ,:,te, atsc^ a
map shc~rring pr.ject iot:ation fe.g., .;cnst-~ aicm c- rEa
4. Apptiaant Identifier. Ert_r the entity iden:ifa-~ asa~~^ed t•y ihE Federal prcc _~tt pr.:jECts). Fcr preac:~ cations, a:-act. a s<:rimar~
agency.. it ar y c' appfcan:'s a:w-trcl nurr:iaer, if api;~ cab _. desc^ Laic ^ a° .he c•.•oiec:.
F~a Federal Entity Identiirer: =nier the ^.r:n76Er assig;red:a your 1d. Gongressianat Districts l?f: iRequirEd; 18a =n:Er the
organizatic,r by :he Fed~•al Age:-,:.•y, if an•y. app cant's Car~gressi~:~_;! t~,is;riot ar,; 1? ,. =nte• a. C ~.•,ct(s,
`.~;,. Federal Award 1d~entifier:.=ar rerr applicatcc^s leave bla^;,;, '=or a artect_d by :Ito program cr pr;EC:. Enter in t^e ~onr~,t C
ccn:inuatian :+r ray+islan o an Exi=tiny wtvwrcl, En;Er ihE pre'dtOllSy Ct4araCterS =:a e.''~.bbrE4'a11C^ - :~ CltafaCt i DISt': t'~UI'^CEr,
assigned Fa~erai ;~rrard iden:ifer number f a cha^ged~correcte: e en.. ~`,4-~'-`-• •~ va;i°ornia 51i clstr[ CAS:' ~ `or Ca fom;a 1^_`'
appli wucn, _^ter t^E :Federal Iconic ter in aca:~rJaI1CE 5~'rt^ age°•.a dist•=a, h!G-102 f=.•;`uort^ C.aralina's '~: ~"' . style:.
nstnrcticns. I' a congress ~:~^a! disc cts in ., state 3•e a?fac:Ell, En:Er
5. Date Received try Stale: LEwve :his f Eld •c~ ark. ?his dare ~v~ be 'all' fcr t^a alsirct number. E.g , fA=~-~It f:a• all
sssitned b••tr,e C:a:e, Ito IlCable. :''r~sfE551anal tIIStTtatS intviarr'wnd.
r. State Application Identifier: Lea•.+e :his field blank. -h s denttier .r I` ~:,aticn•rridE .E. aI tlistncts •rx:hin a:= states a-a ale:tae,
t•e assgned ty tie :;-ate, if applicable. Enter',;:~-al!
Is :he pragramrc•^a
ec: s utside th_ L'~
Enter C=-:~2;i
{. App#icant Information =rter t^E f;yllavy~ing r accc•cancE wth agency ,
,
.
r~s:rum lens:
a. Le•gaI Nance. (RequirE+.;: EntEr the egal ea,rne of ap.• cant chat will 1?. Proposed Project Start and End Dates:. P.E•SUire I Grua=:i,:-
ndErtakE t^ _ ass stone= act •,+ity. This is the nari that t'ra cry a^¢ation pre:c«,sEd star. date and eni cai~ of thY ;. , ~•c:.
^as registerec wit•! the i:Entral ~cntractcr Registry Iniorn•~wpa^• on
•epis:erin vv :h CuR mw" be c+btwined tr v.siti ;t7e Grants ^rcv websitE
b Employen`Taxpayer Nurnbgr (EINtTIN): (Required; ~°+iartha
=rip .:+yer or Taxpayer den:iflcat~an Rurnber ?,Elh ~ TID:) as assigned br 12. Estimated Funding: iRequir~;~ =nor the alraunt requastEw
:he In:ema ReVF ,.;; ;3Er.+icE. If pour ~.x•aanizaticn is nc: n the S, e:^ter ar t~y bE ;atributEd during the F~•sa #unding:budge; .•eriocl uy
4-f-14r.4~ =4. Each con;ribu*.ar. 'dalu=_ a' in-kind cEa^.:ribu:cans should be
c. prganizational DUNS: {?equired; En:erthe argarrizat:+n's CUI":5 ~-~r indutlEd an apprapria:E nES. 3s applicablE Ft^_ act •^ ,*rill
D'~'N'_=+; rurLbE<r re~~EivEd from.. Cun and 3rads:ree:. In=orr:_,:ion on result in a v~Ilar changE bo an exis`.ing a:yara. ndl:-ate or,1 j the
sbtar ^g a CUM1S;~,ursber maybe abtained'cyvsitng :he Grants gav amount c':IAe char,gE. Fcrde:reases, enc:sE t^_ amounts +n
•rrebsit-. parr^:hexes.
d. AddrESS: Enter :he c,:,rnplE:E address as fvlt~:~5: Gtreet add :ss ;'_rre
rec ~edt, Clt? ;?equ - I Ca~unty, S:ate (Required f coon ry I_ JSI,
t ty. is Application Subject to Review by State Under ExECUte•~e
- rav _e
~aun.ry t;P,rqulred;. %iplFas:al C:x:e (IF:egwr_~3. if ,.~.. trt -~ Urder 12372 Procass? r:pp cants s;~-oultl ~cn:ac: the '~.tate
`I'~' 3in
=
c f Ccn:act t
I
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c
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o
d
e.OrganizatianalUnit_ En:Er:henarr<ECf:IYEprirrwryargan~ational g
u
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o
_
u
e
r
er
123?~.ow_:emtiine~~•^_:he•t^ea.,.fi,a:icn = ., :h?
snit land de arm~ent ar civisicn i' a~~;~licat~e :hat will urcenv*:e the '
19E-21
assis:anve ac:rvir . i :. livable. S:ata intergovernmenta n=_+.ie~~~ prccess _~*.:he
f. Name and contact inforrnatian of person to 6e canta~vted an apprW-«p+riats bcx. I' `a.' s se ~cte:i, enter :he not. the
matters involving this application E.^:er t~^_ name (Frst and last: name app ,avian ~r+as subn•;i[:ed tc t^+ '*.r~t=
-eawred; c~•~~anizaticn~ a~i~lition iif affiliated ti~+ith an c•~jani~a:ion at^?r
than tr_ apa can: ~rganizaticn j.:elepnone n,imber «:Reauired; iax ~'tl. Js the Applicant Delinquent an any Fetleral Debt?
rurr,~, and era! add _ss {-:equire~:j c~-':he persc~n:o con,.<c: an i=;etluiredy Seie~_ttre a~~wrapna._ ~ ~s: This Guest+vn a:.eiies t:
n~atr:~s relatd:0'1115 .a:~fia;icn :i-~e a;~p6ca.^z argani~.t~:~n. net the ;._rsc^ ~x•hv+signs as :he
au:hvr~ed r_pressnta r;t. r~ategc• _s .f :Ieb: include
del--~.cuenk audit ~.i=_a c~r+anves. 6can=_ and texes.
f ~•es, invJUde an _:a ~a^a:ivn cn th_ curt ^..aticn s^e-t.
2. Type o' A~•c~ can:: «;P,eauired} 21. Ausharized Representative: =eau ~rr_d'~ T o c•e signed anal
'elec. ,,p to :hre= appiECant:yp„s; in 3+.c~r;,ante tivitr agr4,y dated t+y t~ _ au:hcr~ed represernative ci :I7e avplivart
ns:n«vticns. vng ;^ za:ion. Enter the name ;First and lass ^a^,. requ :•ac
5tat_ 3c•aernment M. N+c~nprof: vn:h `+~1C31RS *.rile iRequired;..:eleph~:~^ number (R_quiredi 'a:< n~.iml7er
~`uunty Govemn^=Ent St"atUS ; :'ther t'tan In517'UCC+^. and 21t'~~II u;.~re55 EReC'~«rE~l ^-~f ih~a pefSCn aLtt^._riZEC t~ Sizln
C.it,+ tir To~~~a^shi~, Gci~ernment of 'r'igher Eduvavia^; `or :I7e .;pplivar~t..
'~ Sr~,:ial Cs:nct v+3vemrnen: h'. N~vnprof: tivi:hau.. t v3 IRS A cc•:;y of t^+e gcvemrng body's au:horr_atc~r. =or yvu tc sign
- Regicnai C+rgan::a:ian Status ;Sihe•tran Institut+.~ ;!-us appiicatan as the vr«cidl • ire=__^:a,iv~ n°,us: t cn f e ~n
.. -~rr•ory cr Pcssessian of ,-ipher Educ3tia^. ~ the a~•pli:-a,^t's cffce. ,Certain Federa ag :^+:ies ~riay rec.i.*e
ndepenc~nt Svr.+~I L«is:rivt ~~. Pri+W~ate I s:it.s:ion of H gher that t^i_ xut^ariza:icn be submiCed as par, =i the app _atlon.;
H~ _..~~ c,5ta:e «~v*trcliec Educat;,r,
r,s:it~tivr os--igherEcluvahc~ P i~+i~i~,al
ndian;hJa:i',eAmericanTriba ~a. F+r-Profi+'~,rganl~at+:V"
Gc•aemmen:~,=ederary if3ther:hanSrc,all?.siness
=tea. gn¢~: « -.. ;rc,ail ?.,sin _ ss
~I ndian,tJa:iu•e Amehcan Triba >ry. Hspa~*.._-ser; a-g nsci:utic+^
Gavemmens ~;Ct:her than, T. H storivaliy E•lavk Ca egos
=ederaliy Rec.gni~edi and Ur •uersit:_s HSvUs',
ndian.tJa:ive An7ehvan .,. Trbaliy Cant,^,~ Ie;I C:clleges
Tribalhr C~esgnated and U:^•uersites i-CCUs;«
~,-,area;ion ti~". lila5ka Native and Patve
_. '..~ cand an -,ousirtg Har,•+ai a.~ Se-,~ing Ir titu:icns
Au:hvri:y ... N+:.n-dan•es:iv (ncn-°JSi
Entitt
19E-22
Homelessness Prevention and Rapid Re-Housing Program (HPRP)
Certifications
The HPRP Grantee certifies that:
Consolidated Plan - It is following a current HUD-approved Consolidated Plan or
CHAS.
Consistency with Plan -The housing activities to be undertaken with HPRP funds are
consistent with the strategic plan.
Confidentiality - It will develop and implement procedures to ensure:
(1) The confidentiality of records pertaining to any individual provided with assistance;
and
(2) That the address or location of any assisted housing will not be made public, except to
the extent that this prohibition contradicts a preexisting privacy policy of the grantee.
Discharge Policy - A certification that the State or jurisdiction has established a policy
for the discharge of persons from publicly funded institutions or systems of care (such as
health care facilities, foster care or other youth facilities, or correction programs and
institutions) in order to prevent such discharge from immediately resulting in
homelessness for such persons.
HMIS - [t will comply with HUD's standards for participation in a local Homeless
Management Information System and the collection and reporting of client-level
information.
Signature/Authorized Official
Title
Date
19E-23
GENERAL CERTIFICATIONS FOR STATE OR LOCAL GOVERNMENT FOR THE
HOMELESSNESS PREVENTION AND RAPID RE-HOUSING PROGRAM (HPRP)
In accordance with the applicable statutes and the regulations governing the consolidated plan
regulations, the state, territory, or local government certifies that:
Affirmatively Further Fair Housing -- The state, territory, or local government will
affirmatively further fair housing, which means it will conduct an analysis of impediments to fair
housing choice within the jurisdiction or state, take appropriate actions to overcome the effects of
any impediments identified through that analysis, and maintain records reflecting that analysis and
actions in this regard.
Drug-Free Workplace -- It will or will continue to provide adrug-free workplace by:
1. Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance is prohibited in the grantee's
workplace and specifying the actions that will be taken against employees for violation of
such prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about:
(a) The dangers of drug abuse in the workplace;
(b) The grantee's policy of maintaining adrug-free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance programs;
and
(d) The penalties that may be imposed upon employees for drug abuse violations
occurring in the workplace;
3. Making it a requirement that each employee to be engaged in the performance of the grant
be given a copy of the statement required by paragraph I;
4. Notifying the employee in the statement required by paragraph I that, as a condition of
employment under the grant, the employee will -
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her conviction for a violation of a criminal
drug statute occurring in the workplace no later than five calendar days after such
conviction;
Notifying the agency in writing, within ten calendar days after receiving notice under
subparagraph 4(b) from an employee or otherwise receiving actual notice of such
conviction. Employers of convicted employees must provide notice, including position
title, to every grant officer or other designee on whose grant activity the convicted
employee was working, unless the Federal agency has designated a central point for the
receipt of such notices. Notice shall include the identification number(s) of each affected
grant;
6. Taking one of the following actions, within 30 calendar days of receiving notice under
subparagraph 4(b), with respect to any employee who is so convicted -
(a) Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
19E-24
(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, state, or local health,
law enforcement, or other appropriate agency;
7. Making a good faith effort to continue to maintain adrug-free workplace through
implementation of paragraphs 1, 2, 3, 4, 5 and 6.
Anti-Lobbying -- To the best of the state, territory, or local government's knowledge and belief:
No Federal appropriated funds have been paid or will be paid, by or on behalf of it, to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or modification of any
Federal contract, grant, loan, or cooperative agreement;
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with this Federal contract, grant, loan, or cooperative agreement, it
will complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in
accordance with its instructions; and
3. It will require that the language of paragraphs 1 and 2 of this certification be included in
the award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
Authority of Local Government, State, or Territory -- The submission of the consolidated plan
is authorized under state law and local law (as applicable) and the jurisdiction or state possesses
the legal authority to carry out the programs under the consolidated plan for which it is seeking
funding, in accordance with applicable HUD regulations.
Consistency with Plan -- The housing activities to be undertaken with HPRP funds are consistent
with the strategic plan.
Section 3 -- It will comply with section 3 of the Housing and Urban Development Act of 1968,
and implementing regulations at 24 CFR Part 135.
Signature/Authorized Official
Title
Date
19E-25
APPENDIX TO CERTIFICATIONS
INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE REQUIREMENTS:
A. Lobbyin~ Certification
This certification is a material representation of fact upon which reliance was placed when this transaction
was made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.
B. Drug-Free Workplace Certification
1. By signing and/or submitting this application or grant agreement, the grantee is providing the
certification.
2. The certification is a material representation of fact upon which reliance is placed when the agency
awards the grant. If it is later determined that the grantee knowingly rendered a false certification, or
otherwise violates the requirements of the Drug-Free Workplace Act, HUD, in addition to any other
remedies available to the Federal Government, may take action authorized under the Drug-Free
Workplace Act.
3. Workplaces under grants, for grantees other than individuals, need not be identified on the
certification. If known, they may be identified in the grant application If the grantee does not identify
the workplaces at the time of application, or upon award, if there is no application, the grantee must
keep the identity of the workplace(s) on file in its office and make the information available for
Federal inspection. Failure to identify all known workplaces constitutes a violation of the grantee's
drug-free workplace requirements.
4. Workplace identifications must include the actual address of buildings (or parts of buildings) or other
sites where work under the grant takes place. Categorical descriptions may be used (e.g., all vehicles
of a mass transit authority or State highway department while in operation, State employees in each
local unemployment office, performers in concert halls or radio stations).
5. If the workplace identified to the agency changes during the performance of the grant, the grantee
s11a11 inform the agency of the change(s), if it previously identified the workplaces in question (see
paragraph three).
6. The Grantee may insert in the space provided below the site(s) for the performance of work done in
connection with the specific grant:
Place of Performance (Street address, city, county, state, zip code)
Check if there are workplaces on file that are not identified here.
The certification with regard to the drug-free workplace is required by 24 CFR part 24, subpart F.
Definitions of terms in the Nonprocurement Suspension and Debarment common rule and Drug-Free
Workplace common rule apply to this certification. Grantees' attention is called, in particular, to the
following definitions from these rules:
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"Controlled substance" means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as further
defined by regulation (21 CFR 1308.11 through 1308.15);
"Conviction" means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the Federal or
State criminal drug statutes;
"Criminal drug statute" means a Federal or non-Federal criminal statute
involving the manufacture, distribution, dispensing, use, or possession of
any controlled substance;
"Employee" means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All "direct charge"
employees; (ii) all "indirect charge" employees unless their impact or
involvement is insignificant to the performance of the grant; and (iii)
temporary personnel and consultants who are directly engaged in the
performance of work under the grant and who are on the grantee's payroll.
This definition does not include workers not on the payroll of the grantee
(e.g., volunteers, even if used to meet a matching requirement; consultants
or independent contractors not on the grantee's payroll; or employees of
subrecipients or subcontractors in covered workplaces).
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